| 12-02057 | 10/30/2015 | Claimant(s): First United Bank & Trust, First United Corp.
Claimant Lawyers(s): Jodyann Galvin
Respondent(s): Franklin Kennedy, Hugh Boone, FTN Financial Securities Corp.
Respondent Lawyers(s): Mark D. Griffin
Arbitrator(s): Christopher M. McMurray, J. Snowden Stanley, George Allen Whitehouse
Hearing Site: Baltimore, MD
|  | $11,571,500 |
| 14-01597 | 10/19/2015 | Claimant(s): Sharon Krieger
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Michael Fein, Commonwealth Financial Network
Respondent Lawyers(s): James A. Johnson
Arbitrator(s): James A. Hayes
Hearing Site: Baltimore, MD
| | Expungement |
| 15-00525 | 09/16/2015 | Claimant(s): Sharespost Financial Corporation
Claimant Lawyers(s): William Yeung
Respondent(s): Neil Davis
Respondent Lawyers(s): Neil Davis
Arbitrator(s): Mona Koppel Mitnick
Hearing Site: Baltimore, MD
| | $0 |
| 13-00209 | 08/21/2015 | Claimant(s): Michael Kohlenstein
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Bruce Oderman, Euro Pacific Capital.
Respondent Lawyers(s): Peter Chema, Robert J. Harvey
Arbitrator(s): Gordon M. Wase, John Leslie Coker, Naomi Ime Blake
Hearing Site: Baltimore, MD
| | $70,359 |
| 14-03670 | 08/21/2015 | Claimant(s): Kevin Ciambruschini
Claimant Lawyers(s): Jeffrey Steinbrecher
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Maurice R. Dunie
Hearing Site: Baltimore, MD
| | $300 |
| 13-01524 | 06/17/2015 | Claimant(s): Edmund Blickle
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Caryl S. Bernstein, Edward J. Gutman, Jane Kwok Ping Tam
Hearing Site: Baltimore, MD
| | Expungement |
| 14-01358 | 06/03/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): William Crumrine
Respondent Lawyers(s): William Braden Crumrine
Arbitrator(s): David Paul Clark
Hearing Site: Baltimore, MD
| | |
| 14-00233 | 05/20/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Robert L Herskovits
Respondent(s): Peter Foote
Respondent Lawyers(s): Thomas C. Costello
Arbitrator(s): Karen V. Cunningham, Jane C. Carney, Sandra Holmes
Hearing Site: Baltimore, MD
| | |
| 14-00726 | 05/15/2015 | Claimant(s): William Norton
Claimant Lawyers(s): William Russell Norton
Respondent(s): Debra Combs, Greg Banasz, Jackie Bae-kingkeo, John Tinsley, Morgan Stanley, Mark Puccini
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): June White Dillard, Patricia M. Maher, Jane Kwok Ping Tam
Hearing Site: Baltimore, MD
| | |
| 12-03886 | 03/30/2015 | Claimant(s): Evelyn Cartrette
Claimant Lawyers(s): Evelyn Faye Cartrette
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Sergio Galindo
Respondent Lawyers(s): Regina P. Martorana
Arbitrator(s): C. Gregory Ellison, M. Michael Cramer, George Allen Whitehouse
Hearing Site: Baltimore, MD
| | Expungement |
